N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter ^Respondent Gordon P. Knuth 93-04168 Name of Respondcnts/Counter-Claimant Dean Witter Reynolds, Inc.; Thomas P. Ryan REPRESENTATION For Claimant/Counter-Respondent: Gordon P. Knuth ("Knuth") was represented by Hayward Richard Pressman, Esq. of New York, New York. For Respondents/Counter-Claimant: Dean Witter Reynold

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Arthur S. Leider, Claimant v. Centex Securities, Inc., Bruce A. Biddick and Craig M. Biddick, Respondents Case Number: 01-02809 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondent Centex Securities, Inc. For Respondent Bruce A. Biddick: For Respondent Craig M. Biddick: Arthur S. Leider In Pro Per San Diego, Califor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Pauline Fox 93-04167 Name of Respondents The Equitable Life Assurance Society CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimant Pauline Fox, who appeared Pro Se, alleged that she purchased two Equi-Vest annuity policies after discussing this investment with

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Bashir A. Chowdhry, M.D. and Kausar A. Chowdhry, Trustees NASD Arbitration No. 93-04164 of Shearson Lehman Brothers, Inc. William Ferrell Albin John Wayne Gilleland REPRESENTATION For Claimants: Max C. Tanner, Esq., Las Vegas, Nevada For Respondents: Madelyn A. Levy, Esq., Smith Barney, Inc., New York,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between ROBERT K. MATSUMOTO, Claimant, v. NASD No. 93-4157 SMITH BARNEY SHEARSON, INC. and GLENN STRAUSS, Respondents. Representation For Claimant: John Allen, Esq. and Dennis Villavicencio, Esq. of Law Offices of John Allen, Carlsbad, California For Respondent: David Bartholomew, Esq. and Lisa Donahue, Esq. of Keesal, Young & Logan, Long Beach, Califor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Patricia LaMendola Mark C. LaMendola as Trustee for the Mark LaMendola IRA 93-04121 Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc Robert Edwards REPRESENTATION Claimants, Patricia LaMendola ("P. LaMendola") and Mark C. LaMendola as Trustee for the Mark LaMendola IRA ("LaMendola IRA") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Robert C. Blair 93-04118 Name of Respondent(s) Cowen & Company Ralph P. Hamberg REPRESENTATION Claimant, Robert C. Blair, ("Claimant") appeared pro se. Respondent, Cowen & company ("Cowen"), was represented by Peter Byer, Esq., In-house Counsel. Respondent, Ralph P. Hamberg ("Hamberg"), was represented by Peter Byer,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Allan J. Kogan IRA w/First Trust Corp. TTEE, Allan J. Kogan Money Purchase Plan w/First Trust Corp. TTEE, and Miriam H. Kogan IRA w/First Trust Corp. TTEE Claimants, v. No. 93-04117 Peter Reardon, Lone Mountain Securities, Inc., and Pinnacle Peak International Asset Management Company, Respondents. REPRESENTATION OF PARTIES Claimants Allan J. Kogan IRA w/First Trust Corp. TTEE, Al

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Suzanne A. Lepage and 93-04112 Name of Respondent Patrick Wayne Malloy REPRESENTATION^ PARTIES Suzanne A. Lepage ("Claimant") appeared pro se. Patrick Wayne Malloy ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about October 7, 1993. Submission Agreement of Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) PaineWebber, Inc. 93-04107 Name of Respondent^ Jason David Dennis Diliey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1993, Claimant PaineWebber, Inc., through its in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Jason David Dennis Diliey failed to p